Compliance Director / Broker / Dealer / Investment Bank - Stan Hamlet Associates : Job Details

Job Description

Job Description

Compliance Director / Broker / Dealer / Investment Bank

Due to promotion,our client, a well respected US registered Broker Dealer,based in NYC ,has asked us to locate a Compliance Director.

The position reports to the chief Compliance Officer and is responsible for providing Business Lines,Legal and Compliance departments of regulatory updates, in regards to private offerings and private placements.

The candidate will also be responsible for action plans in response to any Compliance issues and deficiencies.

Monitor trading activity for Compliance regulations.

Responsible for special projects as they arise.

The candidate we seek should have 10-15 years or Compliance experience

within a Broker Dealer,Compliance Advisory or major Consulting firm

Finance or related degree is required

Masters degree is preferred

Certification of Series 7,79,24,and 63 is required.

Crypto Currency experience is highly desired

The Company offers a high base salary,plus generous bonus with, an excellent benefit package ,as well as, a great work / life balance

Candidates interested in further details,please submit resumes and contact :

Stan Hamlet

Stan Hamlet Associates Inc

[email protected]

914-###-####-

212-###-####

Company Description

STAN HAMLET ASSOCIATES, INC. has been providing permanent, temporary and temp to perm staff for over 40 years. We specialize in Senior and Middle-Management Executive Recruiting in the areas of Accounting, Auditing, Compensation, Benefits, IT Audit, Finance, Data Processing, Systems Analysis and Human Resources.

We feel our service is unique in the respect that each division is headed by a Consultant. In this way, one gets to be thoroughly knowledgeable and proficient that the all too frequent “hit and miss” situation is virtually eliminated, thus refining the search to an exact science. In this manner, we not only serve the employer but the employee as well. We have successfully worked with many of the major corporations and public accounting firms throughout the United States.

STAN HAMLET ASSOCIATES, INC. operates in strict compliance with all applicable laws relating to equal employment opportunity and gives full consideration to all applicants regardless of race, color, sex, age or national origin.

Company Description

STAN HAMLET ASSOCIATES, INC. has been providing permanent, temporary and temp to perm staff for over 40 years. We specialize in Senior and Middle-Management Executive Recruiting in the areas of Accounting, Auditing, Compensation, Benefits, IT Audit, Finance, Data Processing, Systems Analysis and Human Resources.We feel our service is unique in the respect that each division is headed by a Consultant. In this way, one gets to be thoroughly knowledgeable and proficient that the all too frequent “hit and miss” situation is virtually eliminated, thus refining the search to an exact science. In this manner, we not only serve the employer but the employee as well. We have successfully worked with many of the major corporations and public accounting firms throughout the United States.STAN HAMLET ASSOCIATES, INC. operates in strict compliance with all applicable laws relating to equal employment opportunity and gives full consideration to all applicants regardless of race, color, sex, age or national origin.